# SEC Securities Act of 1933 order 33-8377
> Respondent: **UBS Financial Services Inc.** · — · File 3-11407
## Proceeding
- **Release Number:** 33-8377
- **Act:** Securities Act of 1933
- **File Number:** 3-11407
- **Publish Date:** —
## Respondents
- UBS Financial Services Inc.
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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*